Gerard R. Volel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gerard R Volel, who also goes by G Rudolph Volel, Gerard Rudolph Volel, Gerard Rudolph Volel, Grudolph Volel, Rudolph G Volel, Rudolph Volel, was a registered financial professional .
Gerard is a previously registered financial professional and started their career in finance in 1987. Gerard had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2014 - June 18, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 13, 2012 - June 18, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - October 17, 2002
WORLD GROUP SECURITIES, INC.
October 7, 1997 - April 12, 2002
WMA SECURITIES, INC.
August 23, 1995 - September 24, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 23, 1995 - September 24, 1997
EQUITABLE ADVISORS, LLC
March 24, 1987 - April 26, 1991
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
